Article 8
Procedure for requests for an investigation or on-site inspection
1. When a request to carry out an investigation or an on-site inspection is made pursuant to Article 25(6) of Regulation (EU) No 596/2014, the requesting authority and the requested authority shall consult each other on the best way to give useful effect to the request for assistance, taking into account points (a) to (e) of the third paragraph of Article 25(6) of Regulation (EU) No 596/2014, including on the merits of conducting a joint investigation or a joint on-site inspection.
2. The requested authority shall keep the requesting authority informed of the progress of the investigation or on-site inspection and will transmit its findings in good time to the requesting authority.
3. In deciding on whether to initiate a joint investigation or a joint on-site inspection, the requesting authority and the requested authority shall take into account at least the following:
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(a) |
the contents of any requests for assistance received from the requesting authority including any suggestion on the appropriateness to carry out an investigation or an on-site inspection jointly; |
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(b) |
whether they are separately conducting their own inquiries into a matter with cross-border implications and whether that matter would be more suitable for joint collaboration; |
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(c) |
the legal and regulatory framework in each of their jurisdictions, ensuring that both authorities have a good understanding of the potential constraints and legal limitations on the conduct of any joint investigation or joint on-site inspection and on any proceedings that may follow, including any issues relating to the principle of ne bis in idem; |
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(d) |
the management and direction needed for the investigation or on-site inspection; |
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(e) |
the likely prospects that they will agree on the finding of facts; |
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(f) |
the allocation of resources and appointment of staff in charge of carrying out investigations or on-site inspections; |
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(g) |
the possibility to establish a joint action plan and the timing of work by each authority; |
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(h) |
the determination of actions to be taken, jointly or individually, by each authority; |
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(i) |
mutual sharing of information gathered and reporting on the outcomes of the individual actions taken; and |
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(j) |
other case specific issues. |
4. Where the requesting authority and the requested authority decide to carry out a joint investigation or a joint on-site inspection, they shall:
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(a) |
agree on procedures for its conduct and conclusion; |
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(b) |
engage in an ongoing dialogue to coordinate the information gathering process and the finding of facts; |
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(c) |
work closely and cooperate with each other on the conduct of the joint investigation or the joint on-site inspection; |
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(d) |
provide mutual assistance on subsequent enforcement proceedings to the extent legally permitted, including coordinating any proceedings or other enforcement action related to the outcome (whether administrative, civil or criminal) of the joint investigation or the joint on-site inspection or, where appropriate, the prospects of a settlement; |
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(e) |
identify the specific legal provisions which govern the subject matter of the joint investigation or of the joint on-site inspection; |
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(f) |
where relevant, consider at least the following:
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